Interpreting the Library General Records Schedule

Interpreting the Library General Records Schedule

Brad Houston, University Records OfficerJuly 15, 2008

Records: Recorded information, in any format, that allows an office to conduct businessThis includes emails and IMs!Also documents business processesValue of Record determined by content, not format!Ask: “Does this document help me perform my job description?”

What is a record?

Produced by UW Records Officers Council (UWROC), in conjunction with library staffDepartment heads here were consulted for inputCovers 44 records series (functional groups) in 9 categoriesEffective immediately and retroactivelyExample: records with 10 years’ retention created in 1998 can be destroyed immediatelyPrescribes MINIMUM retention periodsBe aware, however, of legal liability

UW-System Library GRS

Organized into 9 categoriesAdministration, Collection Development, Special Collections, Circulation, Interlending, Information Systems, Publicity, Reference, SurveillanceWithin each category, find the record type you needExamples: Call Slips, Donor Files, Registration FormsRecord series names may not correspond to the names YOU use– read the description to determine functional similarity

Using the GRS: Finding schedules

GRS CategorySchedule ExamplesGML DepartmentsAdministrationDirector’s Files, leadership reports, use reports, staff meeting minutesALLCollection DevelopmentPatron requests, donor files, art inventoryCollections and Tech Svcs (all), AGSL, Special CollectionsSpecial CollectionsRegistration forms, call slips, processing recordsArchives, Special Collections, AGSLCirculationPatron histories, overdue notices, stack management recordsCirculation, Shelving Maintenance

Library GRS Crosswalk

GRS CategorySchedule ExamplesGML DepartmentsInterlendingInterlending recordsInterlibrary LoanInformation SystemsStaff client records, patron statistics, ILL server, websiteLibrary Systems, Circulation, Interlibrary LoanPublicityNewsletters, Program FilesDirector’s Office, RIS, Multicultural Svcs., all public service depts.ReferenceReference Questions and Statistics, BI recordsAll public service depts. SecuritySurveillance tapes, accident reports, patron incident filesFacilities Management

Library GRS Crosswalk, cont.

Official Record: The copy of record for audit purposes, record requests, etc.Usually, author of document is the official record-holderException: Committee chairs are official record-holders for minutes, etc.Only official records need to be retained for full periodConvenience copies usually have shorter period, if any

Using the GRS: Official Records

Record Schedules consist of:Description of the SeriesRetention period (original)Retention period (copies)Retention periods include ‘triggering event’, i.e. when you start counting (creation, end of fiscal year, etc.)If retention is marked “Destroy confidentially”, materials MUST BE SHREDDED or put in records management shred bins

Using the GRS: Reading Schedules

As with paper records, need to be scheduled and retained appropriatelyIncludes E-mails, instant messages, webpages, etc.For long-term retention e-records, convert to neutral format (PDF/A, text) before transferFor short-term retention e-records, do not format-switch unless appropriate E.g. software upgrade, etc.Printouts of computer records are copiesCan be destroyed once no longer needed

Electronic Records

Yes, this is a record, too! (Wis. Adm. 12)Most email is transitory and can be destroyed after small period of timeSome email (reference requests, etc.) is routine, and should be retained 60 days or specific schedule lengthSmall amount of email of historical value– save and send to Archives (via PantherFile, etc.)

A Note on Email

In general, Archives is interested in records that provide unique historical perspective on library activities and operationsSeries specifically included for archives in GRS include:Director’s Subject FilesLibrary Strategic PlansNewslettersProgramming/Events Files

Sending records to the Archives

Fill out records transfer form (available on Records Management website)Contact Brad for records center boxes1 file cabinet drawer=1.3 records center boxesPut documents in folders; remove binders if possibleCreate inventory of boxesBox-level is OK; folder-level is betterArrange for pickup/transfer

Sending to the Archives, cont.

UWM now contracts with Kard Recycling and Shredding for confidential shreddingPickup is 2nd and 4th Thursday of each monthContact Brad to have shreddables taken to the shred bins/shred roomn.b. There is a limited amount of space in the shred room, so send shredding a little at a time if possibleShredding is for confidential material only– NOT an all-purpose garbage pickup!

Confidential Shredding

May be covered by existing GRSExamples: Fiscal/Accounting records, annual reports, payroll informationMay be covered by existing Library scheduleExample: Cataloging/Statistical Files are scheduled at UWM, but do not appear on the GRSMay have been missed by both UWM RM and UWROCOften the case for specialty program filesIf so, contact Brad for records scheduling

“Why isn’t X on this schedule?”

Received by Brad and Amy Watson, UWM Public Records CustodianSupersedes ALL active records schedulesRecords from series affected by Litigation Holds MAY NOT be destroyed until hold liftedMost likely will affect email; probably does not affect most library records

Litigation Holds and Records Requests

Am I no longer actively using this record?Is it an official or unofficial copy?Has the triggering event for this series occurred?Has the retention period for this record passed?Does this record need to be sent to the archives?Does this record need to be destroyed confidentially?

Office Cleanup: RM Checklist

http://www.uwsa.edu/gc-off/records/schedules/UW.System.Library.Schedule.pdf The Library/Archives GRS itselfhttp://records.uwm.edu UWM Record Management, with tips (and this presentation!)http://www.uwsa.edu/gc-off/records/guidelines/ Records Management Guidelines from UWSA

When in doubt, look it up!